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Stockbroker Discharged

Lance R. Armstrong- Former Raymond James Broker- Discloses Regulatory Events Resulting in Bar from Industry and Termination of Employment- Columbia, NJ

Lance R. Armstrong- Former Raymond James Broker- Discloses Regulatory Events Resulting in Bar from Industry and Termination of Employment- Columbia, NJ 150 150 Rex Securities Law

Lance R. Armstrong Investigation December 2021 – Lafayette, NJ The FINRA records of Lance Roman Armstrong  , a former stockbroker who was last employed by Raymond James Financial Services, Inc. , disclose   regulatory events…

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Sanders Spangler Investigation-Former LPL Financial Broker-Barred From Securities Industry & Settles Customer Suits-San Antonio, TX

Sanders Spangler Investigation-Former LPL Financial Broker-Barred From Securities Industry & Settles Customer Suits-San Antonio, TX 150 150 Rex Securities Law

Sanders Spangler Investigation November 2021-San Antonio, Texas The FINRA records of  Sanders L. Spangler ,   a  former stockbroker who was once employed by  LPL Financial  disclose a regulatory matter, 6 prior customer disputes…

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Robert Alvarez- International Assets Advisory Management Broker- Discloses Regulatory Event, Customer Dispute and Terminations From Employment – Metairie, LA

Robert Alvarez- International Assets Advisory Management Broker- Discloses Regulatory Event, Customer Dispute and Terminations From Employment – Metairie, LA 150 150 ER

Robert Alvarez Investigaton November 2021- Metairie, LA According to publicly available records,  Robert Alvarez,  a broker with International Assets Investment Management discloses a regulatory event , a currently pending customer dispute…

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Gilford Ward Nergard- Former Raymond James Broker- Discloses Regulatory Event, Customer Disputes and a Termination From Employment – Phoenix, AZ

Gilford Ward Nergard- Former Raymond James Broker- Discloses Regulatory Event, Customer Disputes and a Termination From Employment – Phoenix, AZ 150 150 Rex Securities Law

Guilford Nergard Investigaton November 2021- Phoenix, AZ According to publicly available records,  Guilford Nergard,  a currently unregistered  financial advisor who previously was employed by Raymond James discloses a regulatory event ,…

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William Cerf- UBS Broker- Customers seek $16.5 Million in Pending Disputes-New York, NY

William Cerf- UBS Broker- Customers seek $16.5 Million in Pending Disputes-New York, NY 150 150 ER

November 2021- New York, NY According to publicly available records,  William Cerf a broker with UBS Financial Services, discloses 6 pending customer disputes seeking millions of dollars. The Financial Industry…

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Lawrence Goldstein-Former McNally Financial Services Broker-Churning Allegations Result in Bar from Industry- San Antonio, TX

Lawrence Goldstein-Former McNally Financial Services Broker-Churning Allegations Result in Bar from Industry- San Antonio, TX 150 150 Rex Securities Law

Lawrence Goldstein Investigation November 2021- San Antonio, TX According to publicly available records  Lawrence B. Goldstein (CRD#2282699), a  former stockbroker who last worked for McNally Financial Services Corporation, discloses a regulatory…

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Greg Estes-Former SA Stone Wealth Mgmt. Broker-Discloses Pending Criminal Charge- San Angelo, TX

Greg Estes-Former SA Stone Wealth Mgmt. Broker-Discloses Pending Criminal Charge- San Angelo, TX 150 150 Rex Securities Law

Gregory F. Estes Investigation July 2021 -San Angelo, TX The FINRA records of Gregory F.  Estes  , a stockbroker who is not currently registered with any broker dealer, and who was last…

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Curt L. Howard-Former Edward Jones Broker-Subject of $1M Customer Suit- Sapulpa, OK

Curt L. Howard-Former Edward Jones Broker-Subject of $1M Customer Suit- Sapulpa, OK 150 150 Rex Securities Law

Curt Howard Investigation November 2021-Sapulpa, OK According to publicly available records Curtis Lee Howard ,  a   stockbroker who formerly worked for Edward Jones and who  is currently registered with Level Four Financial,…

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Joseph Lianzo -Former SW Financial Broker-Suspended by FINRA-Melville, NY

Joseph Lianzo -Former SW Financial Broker-Suspended by FINRA-Melville, NY 150 150 ER

Joseph A. Lianzo Investigation November  2021 – Melville, NY According to publicly attained records, Joseph Lianzo, a stockbroker who is not currently registered  and who was last employed by SW Financial…

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